Frequently Asked Questions
What types of clients do you typically serve?
Our typical retired client has investable assets in excess of $1 million.
Whether they are early in their careers, mid-career executives or approaching retirement, our working professionals are well-compensated, earning incomes over $125,000 with investable assets over $250,000.
Our typical business owner and/or Corporate Executive earns $200,000 annually and has investable assets of $1 million.
Registered Investment Adviser vs Broker-Dealer
Registered Investment Advisor
Registered investment advisors put their clients' interests first. By professional standards as well as Securities and Exchange Commission (SEC) regulations, investment advisors help people manage their money wisely and achieve their financial goals by offering their best, unbiased and uninfluenced advice. When investment advisors recommend investment products, it should be without any personal financial interest or stake.
Brokers make money through investment transactions. Although the SEC mandates that they must offer only suitable investments to their clients, broker dealers are not obligated to work solely in their clients' interests. In fact, because they make money off trades, brokerages charge their representatives with increasing transaction volumes. However, generating trades is not always in the interest of clients.